SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
Administrative Proceedings to Be Scheduled Against
By Staff WriterWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission is scheduling public administrative hearings against hedge fund managers Paul J. House and Brandon R. Moore. The proceedings are based...
September 24, 2002
Instinet's Filing Means Another Delay for SuperMonWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission has effectively delayed the launch of Nasdaq's SuperMontage until the middle of October, in order to avoid allowing Nasdaq...
September 22, 2002
New SEC Rule Accelerates Financial Reporting DeadlinesNew SEC Rule Accelerates Financial Reporting Deadlines ByThe U.S. Securities and Exchange Commission published a final rule last week requiring publicly traded companies to speed ...
September 16, 2002
SEC Accelerates Financial Reporting DeadlinesNU Online News Service, Sept. 16, 5:15 p.m. -- The U.S. Securities and Exchange Commission today published a final rule requiring publicly traded companies ...
September 01, 2002
SEC Remarks Suggest UIT VictoryByWashington Life insurers appear to have won a major victory with the apparent decision by the Securities and Exchange Commission not to extend some of ...
August 11, 2002
Congress Acts To Stop Corporate AbuseAfter watching domestic equity markets decline at an alarming pace, insurers and fund managers breathed a sigh of relief as Congress passed the Sarbanes-Oxley Act ...
July 26, 2002
Oxford Settles SEC InvestigationNU Online News Service, July 26, 10:09 a.m. -- Oxford Health Plans Inc., Trumbull, Conn., says it has agreed to pay a $250,000 civil ...
July 14, 2002
SEC Enforcement Actions Put Spotlight On VA SwitchesSEC Enforcement Actions Put Spotlight On VA SwitchesByThe regulatory spotlight is on variable annuity exchanges, as evidenced by three recent enforcement actions taken by the ...